Alberta

ASC Announces Panel Speakers and Agenda for ASC Connect 2017

News Release ASC Announces Panel Speakers and Agenda for ASC Connect 2017 CALGARY – – The Alberta Securities Commission (ASC) announced its external speaker list and agenda for ASC Connect 2017, a unique opportunity for Alberta market participants to discuss issues and trends impacting our capital markets and economy. New to the ASC’s roster of … Continue reading

ASC sanctions Joseph Anton Kostelecky for breaching Alberta securities laws
Alberta

ASC sanctions Joseph Anton Kostelecky for breaching Alberta securities laws

News Release ASC sanctions Joseph Anton Kostelecky for breaching Alberta securities laws  CALGARY – – The Alberta Securities Commission (ASC) has sanctioned Joseph Anton Kostelecky for contravening Alberta securities laws and acting contrary to the public interest in connection with Calgary-based Poseidon Concepts Corp. Specifically, Kostelecky failed to maintain necessary books and records of Poseidon; … Continue reading

ASC suspends registration of Walton Capital Management Inc.
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ASC suspends registration of Walton Capital Management Inc.

News Release ASC suspends registration of Walton Capital Management Inc. CALGARY ––  The Alberta Securities Commission (ASC) has suspended the registration of Walton Capital Management Inc. (WCMI) after a meeting with WCMI management today, pending the surrender of the registration of the firm. WCMI consented to the suspension. While the suspension remains in place, WCMI is … Continue reading

Gregory Frederick Hilderman and Jonathan Financial admit to breaching securities laws
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Gregory Frederick Hilderman and Jonathan Financial admit to breaching securities laws

News Release Gregory Frederick Hilderman and Jonathan Financial admit to breaching securities laws    CALGARY – The Alberta Securities Commission (ASC) has concluded a Settlement Agreement with Gregory Frederick Hilderman and Jonathan Financial Inc. in which they admit to breaching Alberta securities laws by making misleading or untrue statements to investors.   Hilderman and Jonathan … Continue reading

ASC now automatically reciprocates other Canadian sanction orders
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ASC now automatically reciprocates other Canadian sanction orders

News Release ASC now automatically reciprocates other Canadian sanction orders CALGARY – The Alberta Securities Commission (ASC) today announced an enhancement to cross-Canada enforcement of securities laws. Effective July 1, 2015, new section 198.1 of the Securities Act (Alberta) will mean that most new orders and settlement agreements made by other securities regulatory authorities in … Continue reading

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Court sentences Amarinder Singh Lall to three years in jail for fraud

News Release Court sentences Amarinder Singh Lall to three years in jail for fraud CALGARY – May 29, 2014 – A Provincial Court of Alberta judge has sentenced Amarinder Singh (Mark) Lall to three years in a federal penitentiary after being found guilty on four counts of breaching Alberta securities laws, including: fraud; making misleading statements; trading … Continue reading